Branch offices
7 offices
FINRA: Medium firm
CRD #120708 · FINRA BrokerCheck + SEC IAPD
Maxim Group LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Maxim Group LLC ranks #139 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #28 of 868 on the same disclosure sort used on the state browse page. Maxim Group LLC carries 37 BrokerCheck disclosures across 7 branch offices - heavy load for a small firm, earning a Grade F.
- Grade F
- Safety grade
- 7
- branch offices
- 37
- disclosures
- #139 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 120708 Maxim Group LLC
Maxim Group LLC · Grade F · 37 disc · 5.29/office · Small firm
- CRD 120708
- GRADE F
- DISC 37
- REG 36
- ARB 1
- CIV 0
- BRANCH 7
- PER-OFF 5.29
- RANK #139 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: GTS Securities LLC (5.43 disc/office)
Maxim Group LLC ranks #139 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.29 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
37 events
On FINRA BrokerCheck
Regulatory events
36 actions
97% of all disclosures
Disclosures per office
5.29 per office
37 ÷ 7 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Maxim Group LLC - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 36 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 37 |
Counts for Maxim Group LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 36 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Medium
- Scope
- ACTIVE
- Location
- New York, NY, 10022
- Formed
- 04/11/2002
- State of Formation
- New York
- CRD Number
- 120708
- SEC Number
- 65337
Regulator-heavy mix
Maxim Group LLC in the heavier-disclosure third
Maxim Group LLC carries 37 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#139 of 20,055). Regulator-initiated events are 97% of the book (36 regulatory / 1 arbitration / 0 civil).
97% of Maxim Group LLC's 37 disclosures are regulator-initiated (36 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Maxim Group LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
New York cohort · 4.23× state average
Maxim Group LLC sits above the New York disclosure average
Maxim Group LLC reports 37 BrokerCheck disclosures, 4.23× the New York average of 8.7 across 868 graded firms with a principal-office state on file.
In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Maxim Group LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Maxim Group LLC ranks #139 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #28 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Maxim Group LLC?
A grade of F reflects Maxim Group LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 37 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Maxim Group LLC have?
Maxim Group LLC has 37 total FINRA disclosures, including 36 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Maxim Group LLC?
Maxim Group LLC operates 7 branch offices and is classified by FINRA as a medium firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Maxim Group LLC's disciplinary record?
You can verify Maxim Group LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 120708. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Maxim Group LLC's 37 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Maxim Group LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Maxim Group LLC carries 37 disclosures across 7 branch offices (about 5.29 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Maxim Group LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (37 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (7 here).
Read with this firm
- GTS Securities LLC (FL) - 5.43 disclosures/office, nearest small firm peer to Maxim Group LLC's 5.29
- Colonial Securities, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Maxim Group LLC's 5.29
- Liquidnet, Inc. (NY) - 5.50 disclosures/office, nearest small firm peer to Maxim Group LLC's 5.29
- Firms in NY - state roster that includes Maxim Group LLC's registration home.
- Red Flags in Advisor Records - How to read Maxim Group LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 37 disclosures behind Maxim Group LLC's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Maxim Group LLC.
- Compare firms - put Maxim Group LLC next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.